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of the department or agency concerned with the matter shall make a certification in writing, published in the FEDERAL REGISTER, that the national interest would be served by such action or appearance by the former officer or employee.
(c) Whoever, being a partner of an officer or employee of the executive branch of the U.S. Government, of any independent agency of the United States, or of the District of Columbia, including a special Government employee, acts as agent or attorney for anyone other than the United States, in connection with any judicial or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which the United States is a party or has a direct and substantial interest and in which such an officer or employee of the Government or special Government employee participates or has participated personally and substantially as & Government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation or otherwise, or which is the subject of his official responsibility
Shall be fined not more than $5,000, or imprisoned not more than 1 year, or both.
A partner of a present or former officer or employee of the executive branch of the U.S. Government, of any independent agency of the United States, or of the District of Columbia, or of a present or former special Government employee shall as such be subject to the provisions of sections 203, 205, and 207 of this title only as expressly provided in subsection (c) of this section. 18 U.S.C. 208
Acts affecting a personal financial interest.
(a) Except as permitted by subsection (b) hereof, whoever, being an officer or employee of the executive branch of the U.S. Government, or any independent agency of the United States, or of the District of Columbia, including a special Government employee, participates personally and substantially as a Government officer or employee, through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, in a judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy. charge, accusation, arrest, or other particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he is serving as officer, director, trustee, partner, or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest
Shall be fined not more than $10,000, or imprisoned not more than 2 years, or both.
(b) Subsection (a) hereof shall not apply, (1), if the officer or employee first advises the Government official responsible for appointment to his position of the nature and circumstances of the judicial or other pro
ceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter and makes full disclosure of the financial interest and receives in advance a written determination made by such official that the interest is not so substantial as to be deemed likely to affect the integrity of the services which the Government may expect from such officer or employee, or (2). 11, by general rule or regulation published in the FEDERAL REGISTER, the financial interest has been exempted from the requirements of clause (1) hereof as being too remote or too inconsequential to affect the integrity of Government officers' or employees' services. APPENDIX B.-MISCELLANEOUS STATUTES (SEE
$$ 3.105 AND 3.607) 1. House Concurrent Resolution 175, 85th Congress, 2d Session, 72 Stat. B12, the “Code of Ethics for Government Service."
2. Chapter 11 of Title 18, United States Code, relating to bribery, graft, and conflicts of interests, as appropriate to the employees concerned.
3. The prohibition against lobbying with appropriated funds (18 U.S.C. 1913).
4. The prohibitions against disloyalty and striking (5 U.S.C. 7311; 18 U.S.C. 1918).
5. The prohibition against the employment of a member of a Communist organization (50 U.S.C. 784).
6. The prohibitions against (1) the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783); and (2) the disclosure of confidential information (18 U.S.C. 1905).
7. The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352).
8. The prohibition against the misuse of a Government motor vehicle or aircraft (31 U.S.C. 638a (c)).
9. The prohibition against the misuse of the franking privilege (18 U.S.C. 1719).
10. The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (18 U.S.C. 1917).
11. The prohibition against fraud or false statements in & Government matter (18 U.S.C. 1001).
12. The prohibition against mutilating or destroying a public record (18 U.S.C. 2071).
13. The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508).
14. The prohibitions against (1) embezzlement of Government money or property (18 U.S.C. 641); (2) falling to account for public money (18 U.S.C. 643); and (3) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654).
15. The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285).
16. The prohibition against proscribed political activities (The Hatch Act–5 U.S.C. 7324-7327; 18 U.S.C. 602, 603, 607, and 608).
17. The prohibition against an employee (iii) Making determinations on reacting as the agent of a foreign principal
quests from employees for approval for registered under the Foreign Agents Registra
outside employment or other outside action Act (18 U.S.C. 219).
tivity pursuant to the provisions of subSubpart B-Advisory Service and part E of this part. Enforcement
(iv) Consulting, as necessary, with the § 3.200 Purpose.
Agency Counselor on questions and prob
lems arising under regulations. This subpart establishes an advisory service for employees for the purpose of
§ 3.203 Review, enforcement, reporting, furnishing interpretations and advising
and investigating. on questions arising concerning stand- (a) Each statement, and supplemenards of conduct and prescribes the types tary statement, of employment and fiof remedial and disciplinary actions nancial interests submitted under subwhich may be taken to enforce the re- part C of this part shall be reviewed by quirements of subparts A, C, D, and E the appropriate Deputy Counselor or by of this part.
the Agency Counselor. If that review dis
closes a conflict of interest or apparent $ 3.201 Use of advisory service.
conflict of interest, the employee shall be When questions or problems arise con- given an opportunity to explain the concerning matters covered by this part, flict or apparent conflict, and every efEPA employees shall seek the advice and fort shall be made to resolve the matter. consultative services of the counselors If the matter cannot be resolved by the designated in g 3.202 below.
Deputy Counselor, it shall be referred to $ 3.202 Designation of counselors and
the Agency Counselor, and if it cannot statement of functions.
be resolved by the Agency Counselor, it
shall be reported to the Administrator. (a) The Deputy General Counsel is
(b) Employees shall consult with their designated as the Agency Counselor. His
Deputy Counselors with regard to any functions consist of the following:
questions concerning these regulations. (1) Acts as the principal point of con
Resolution of problems disclosed by such tact with the Civil Service Commission
consultations shall be accomplished at on matters covered in these regulations. (2) Provides general guidance to Dep
the lowest possible supervisory level in
the agency through counseling or by takuty Counselors for the purpose of achiev
ing administrative action to eliminate ing uniform interpretation of these
real or apparent conflicts of interest. The regulations. (3) Coordinates EPA's services for
Director, Security and Inspection Staff,
shall be requested by the Deputy Councounseling personnel on questions of con
selor, when necessary, to conduct investiflict of interest.
gations to ascertain all relevant facts. (b) Deputy Counselors:
(c) Any employee receiving an allega(1) The following oficials are desig
tion of a possible violation of the provinated as Deputy Counselors under this
sions of this subpart by any other empart:
ployee (including personnel or other (i) Assistant Administrators.
Government agencies detailed to EPA) (ii) Deputy Assistant Administrators. (iii) Heads of Staff Offices reporting
shall promptly report it directly to the directly to the Administrator or Deputy
appropriate Counselor or Deputy Coun
selor. If the Counselor or Deputy CounAdministrator.
selor deems that an investigation is nec(iv) Regional Administrators.
essary, he shall request the Director, (v) Directors of National Environmental Research Centers.
Security and Inspection Staff, to conduct
the investigation. (2) Functions of the Deputy Coun
(d) A violation of the regulations in selors:
this subpart may be cause for discipliDeputy Counselors shall be responsible
nary action. All disciplinary or remedial for
action taken hereunder shall be in con(1) Counseling employees on all problems and questions arising under the reg
formance with applicable laws, Executive ulations set forth in this subpart.
orders, Civil Service Commission regula(ii) Reviewing and maintaining cus
tions, and EPA regulations. Disciplinary tody of statements of employment and or remedial action includes, but is not financial interests, filed pursuant to the limited to, divestiture by the employee provisions of subpart C of this part. of his conflicting interest, disqualifica
tion for particular assignments, reassign- person to act in a manner prohibited by ment, or other disciplinary action.
law, order, or regulation. Procedures for (e) The employee concerned shall obtaining waivers of the prohibitions of have a reasonable opportunity during section 208(a) of Title 18, United States any investigation and at all levels of con- Code, are set forth in $ 3.303. sideration of his problems to present in (c) All employees whether or not they person and through documents his posi- are required to file a statement of emtion on the matter.
ployment and financial interests, and an Subpart C—Financial Interests and annual supplement thereto, shall avoid Investments
acquiring a financial interest that could
result, or taking an action that would re& 3.300 Purpose.
sult, in a violation of section 208(a) of This subpart prescribes policies and Title 18, United States Code, or of this procedures for the avoidance of conflict- subpart. ing financial interests in connection with
$ 3.302 Statutory prohibitions against an employee's Government position or in
acts affecting a personal financial the discharge of his official responsibili
interest. ties, and sets out the requirements for reporting financial interests and outside
(a) The provisions of section 208(a) of
Title 18, United States Code, prohibit any employment.
employee from participating personally § 3.301 General.
and substantially in the course of his (a) Employees are subject to two types
Government duties in any judicial or of controls in connection with apparent other proceeding, application, request for or actual conflicting financial interests. a ruling or other determination, contract, One is a criminal statute, 18 U.S.C. 208,
claim, controversy, charge, accusation, which by its terms prohibits an em
arrest, or other particular matter in reployee's participation in certain official
lation to which matter, to his knowledge, activities where he has a conflicting per
the following persons or organizations sonal financial interest. The other is a
have a financial interest: requirement under Executive Order No. (1) The employee, his spouse, minor 11222 of May 8, 1965, and Civil Service
child, or partners; Commission regulations that employees
(2) A business or nonprofit organizaoccupying certain Government positions
tion in which the employee is serving as shall report all personal financial inter- an officer, director, trustee, partner, or ests and outside employment by filing a
employee; or statement of employment and financial (3) A person or business or nonprofit interests. The statute and the statement organization with whom or with which of employment and financial interests the employee is negotiating, or has any have the common objective of deterring arrangement with, concerning prospecthe occurrence of conflicting financial tive employment. interest situations. The statute prohibits (b) The prohibitions in paragraph (a) and punishes while the statement of em
of this section may be waived under cerployment and financial interests is in- tain circumstances which are set out in tended to aid the employee and those who
$ 3.303. review his statement in identifying and (c) Illustrative of the types of matters avoiding situations that present conflicts
in which employees commonly particiof interest.
pate and which may fall within the pro(b) The statement of employment hibitions described in paragraph (a) of and financial interests for regular Gov- this section are the following: ernment employees, referred to in para- (1) The negotiation, administration, or graph (a) of this section shall be filed
auditing of contracts or agreements; in accordance with the procedures set
(2) The selection or approval of conforth in appendix A to this subpart, and
tractors or known subcontractors under shall include all personal financial interests of the reporting employee, except
an EPA prime contract; those exempted from the reporting re
(3) The technical monitoring or direcquirements of this subpart by virtue of
tion of work under a contract; the first paragraph of appendix C of this (4) Enforcement activities; subpart. The submission of a statement (5) Issuance of permits to discharge or supplementary statement by an em- industrial waste; ployee does not permit him or any other (6) Registration of pesticides products.
(d) Unless a waiver is granted under $ 3.303, no employee or employee detailed to EPA shall participate personally and substantially in the course of his Government duties in any specific matter of a type listed in paragraph (c) of this section, or in any other matter if, to his knowledge, any of the persons or organizations identified in paragraph (a) of this section have a financial interest relating to that specific matter. 8 3.303
Waiver of statutory prohibition. (a) The prohibition of section 208(a) of Title 18, United States Code, may be waived in connection with a specific matter of the type which comes under the statute if the employee makes a full disclosure in writing of the nature of the matter involved and of the financial interest relating thereto and receives, in advance of his participation in such matter, a written determination that such financial interest is not so substantial as to affect the integrity of his services and, therefore, that the employee may participate personally and substantially in that matter. A written request for waiver must be submitted to the Agency Counselor through the appropriate Deputy Counselor.
(b) The prohibition of section 208(a) of Title 18, United States Code, also may be waived by general regulation applicable to all employees so as to permit an employee (including personnel of another Government agency detailed to EPA) to participate personally and substantially in a specific matter, notwithstanding the existence of a financial interest relating to that matter, where it has been determined that such a financial interest is too remote or too inconsequential to affect the integrity of the employee's service in any matter in which he may act in his governmental capacity. Such a determination has been made by the Administrator with respect to the categories of financial interests set forth in appendix C to this subpart. & 3.304 Confidential statements of em
ployment and financial interests. (a) The criteria set forth in paragraph (d) of this section define the categories and types of employees who must submit confidential statements of employment and financial interests. Appendix A to this subpart provides procedures for the submission, review, and disposition of these statements. Appendix B to this subpart lists the positions whose in
cumbents are required to file confidential statements of employment and financial interests. The designated Agency Counselor, and Deputy Counselors referred to throughout $ 3.304 are identified in $ 3.202.
(b) Personnel, whether civil service employees or Public Health Service commissioned officiers, in positions listed in appendix B to this subpart C shall file confidential statements of employment and financial interests. These statements shall be filed by all officials, other than the Administrator, who are compensated at levels of the executive schedule.
(c) Confidential statements of employment and financial interests may be required of certain employees other than those whose positions are listed in appendix B to this subpart. The Counselor and Deputy Counselors are responsible for identifying such other positions in accordance with criteria set forth in paragraph (d) of this section and for notifying the employee concerned. This notification shall be in writing and shall include the reason for the decision.
(d) Financial interests of employee's relatives. For purpose of this reporting requirement, the financial interests of a spouse, minor child, or other member of an employee's immediate household are considered to be an interest of the employee and shall be reported. “Members of an employee's immediate household" means those blood relatives who are residents of the employee's household.
(e) Information not known by employees. If any information required to be included on a statement of employment and financial interests or supplementary statement, including holdings placed in trust, is not known to the employee but is known to another person, the employee shall request that other person to submit the information in his behalf. The employee concerned should avoid gaining knowledge about those interests in order to prevent the possibility of violating section 208 of Title 18, United States Code.
(f) The following criteria define the categories and types of employees who are required to file a confidential statement of employment and financial interests:
(1) Employees classified at the GS-13 level and above, under section 5332 of Title 5, United States Code (or comparable levels under other pay systems), unless otherwise exempted pursuant to paragraph (g) of this section, whose du
ties and responsibilities require the ex
APPENDIX A-PROCEDURES FOR FILING STATEercise of judgment in making a Govern
MENTS OF EMPLOYMENT AND FINANCIAL
INTERESTS ment decision or in taking Government action in regard to:
(a) General.-(1) Submission of confiden. (i) Contracting or procurement, in- tial statements of employment and financial cluding: The evaluation or selection of
interests. Each employee who is required to contractors; the negotiation, approval,
submit a confidential statement of employ.
ment and financial interests for whom there or award of contracts; the supervision
is no current statement on file shall promptly of activities performed by contractors,
complete and forward this statement, but in including the administration, monitor
any event no employee shall submit bis ing, audit, and inspection of contractors financial statement later than 30 days after and contract activities; and the initia- the effective date of issuance of these regution or approval of requests to procure lations. For employees appointed after the supplies, equipment, or services, other
effective date of these regulations, statements than those common items available from
shall be submitted within 30 days after enEPA or GSA inventories.
trance on duty. The employee's statement !
shall be submitted on EPA Form NO. 3115.1, (ii) Administering or monitoring
Confidential Statement of Employment and grants or subsidies, including grants to Financial Interests. The completed form No. educational institutions and other non- 3115.1 shall be forwarded for review to the Federal organizations; or
Deputy Counselor for the organization of (iii) Regulating or auditing private or the employee concerned, except that stateother non-Federal enterprise.
ments from employees in the immediate of
fice of the Administrator and those of the (2) Employees classified at the GS-13
Deputy Counselors shall be submitted for level and above (or comparable levels
the review of the Counselor. under other pay systems), who are iden
(2) Review of statements.-EPA Form tified by the Agency Counselor or Dep- 3115.1, when received by the Counselor or uty Counselors as holding positions re- by a Deputy Counselor in accordance with quiring the incumbent thereof to exer- paragraph (a) above, shall be reviewed by cise judgment in making Government
that official to determine whether or not decisions or taking actions where such
there is or appears to be a conflict between
the interests of the employee and the per decisions or actions may have an eco
formance of his services for the Government. nomic impact on the interest of any non
(3) Decisions on conflict of interest.Federal enterprise.
When the review as provided in paragraph (3) Employees classified below the (b) above indicates a conflict between the GS-13 level (or at a comparable level interest of an employee and the performunder other pay systems), who are in ance of his services for the Government the positions which otherwise meet the cri
reviewing official shall have the indicated teria of paragraph (f) (1) or (2) of
conflict brought to the attention of the em
ployee, grant the employee an opportunity to this section, providing the Civil Service
explain the conflict, and attempt to resolve Commission has approved the determi
it as expeditiously as possible. If the reviewnation that the incumbents of such posi- ing official cannot resolve a conflict on the tions should be required to file state- basis of facts available to him he may refer ments of employment and financial the matter to the Security and Inspection interests in order to protect the integrity
Staff for an investigation into the facts surof the Government and to avoid the
rounding the indicated conflict. The Security employee's involvement in a possible
and Inspection Staff's written report shall be
forwarded to the reviewing official who, if still conflict of interest situation.
unable to resolve the conflict, shall forward it (g) An employee described in para- to the Agency Counselor for a determination. graph (f) (1) of this section shall be ex- If the Agency Counselor is unable to resolve empted from the requirement for filing the conflict the matter shall be referred to a confidential statement of employment
the Administrator. The Administrator shall and financial interests when the Coun
determine what remedial or disciplinary acselor or a Deputy Counselor determines
tion is appropriate in light of all available
information. A record of the final disposition that the employee's duties are of such
shall be made a part of the statement of ema nature, or are at such a level of respon
ployment and financial interests. sibility and are subject to such a degree (4) Submission of supplementary stateof supervision and review, that the pos- ments.-Changes in, or additions to, inforsibility of his becoming involved in a mation required by the submission of an conflict of interest is remote. Such a EPA Form 3115.1 shall be reported quarterly determination shall be written and re- on an additional EPA Form 3115.1 clearly corded by the official (Counselor or a indicating that the information is suppleDeputy Counselor) concerned.
mentary. The supplementary form 3115.1